RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
W•••• M•• M••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 26, 2016 · Wayzata, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAJan 26, 2016 to Feb 8, 2016 · Golden Valley, Mn
- M•• F•••••••• S•••••••• I••• formerOct 22, 2014 to Apr 23, 2015 · Minnetonka, Mn
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedJun 23, 2011 to Sep 16, 2014 · Chaska, Mn
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2016, registered Feb 26, 2016 (18 days) · Other
- M•• F•••••••• S•••••••• I••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Apr 23, 2015, registered Jan 26, 2016 (278 days) · Other
- W••••• E••••••••• A••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 16, 2014, registered Oct 22, 2014 (36 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address